Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Grants Exceptions to Family Office Rules

SEC logo

Investment Advisers The SEC has previously adopted a rule to define “family offices” that are excluded from the Investment Advisers Act of 1940. “Family offices” are entities established by wealthy families to manage their wealth and provide other services to family members, such as tax and estate planning services. Historically, family offices have not been required to […] Read more →

by   |   July 30, 2014

hedge fund

Hedge Fund COO Makes Admissions in SEC Settlement

Investment Advisers, Litigation The SEC announced that the former Chief Operating Officer at Harbinger Capital Partners LLC has agreed to settle allegations that he assisted a scheme by the firm and its owner to... Read more →

by   |   July 28, 2014

private equity

SEC Provides Guidance to Private Equity on Seller Escrows

Investment Advisers, Private Equity The SEC has issued guidance to registered private equity advisers regarding escrow arrangements resulting from the sale of a portfolio company.  The guidance revolves around a... Read more →

by   |   July 10, 2014

NASAA

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

Investment Advisers, Private Equity, Public Companies and Securities The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and... Read more →

by   |   July 9, 2014